Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Abbruzzese is a securities professional with over 25 years of experience in the industry. Currently registered with Needham & Company, LLC, James has a broad range of experience in investment banking and trading. His expertise also includes a focus on equity trading and research. Previously, James was employed with J. B. Hanauer & Co. James holds licenses including Series 7, Series 24, Series 55, Series 87, and Series 63, which reflect a commitment to maintaining a high level of knowledge and expertise. James is registered in several states including California, Illinois, Massachusetts, New York, Puerto Rico, Texas, and the Virgin Islands.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Securities research
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
1
2
NY
08/05/1998 - Present
Needham & Company, LLC (NEW YORK NY)
NJ
12/18/1997 - 07/24/1998
J. B. HANAUER & CO. (PARSIPPANY NJ)
BC
Issued 11/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/05/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/01/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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